Erez Law is currently investigating Triad Advisors LLC brokers across the country who recommended their clients invest in LJM Preservation & Growth Fund, an alternative mutual fund. According to the Letter of Acceptance Waiver and Consent (AWC), in December 2021 … Continue reading
Were you the victim of Janney Montgomery Scott LLC broker Kirk Pickell (CRD# 2294187)? Kirk Pickell has been registered with Janney Montgomery Scott LLC in Providence, Rhode Island since 2002. Kirk Pickell Faces $10 Million Customer Complaint Kirk Pickell has … Continue reading
There are options for clients of former David Lerner Associates, Inc. broker Brian Jackson (CRD# 4733834) who suffered investment losses. Brian Jackson has been registered with Wells Fargo Clearing Services, LLC in Tarrytown, New York since 2018. Previously, Brian Jackson … Continue reading
There are options for clients of former Folger Nolan Fleming Douglas broker Marc Lippman (CRD# 1575995) who suffered investment losses. Lippman has been registered with Folger Nolan Fleming Douglas Incorporated in Washington, D.C. from 2009 to 2021, when he was … Continue reading
Erez Law is currently investigating former AXA Advisors, LLC broker Jenna Kang (CRD# 6334679) regarding mutual fund losses. Kang was registered with AXA Advisors, LLC in Los Angeles, California from 2016 to 2020, when she was terminated regarding, “During a … Continue reading
Were you the victim of Fidelity Brokerage Services LLC broker Anthony Mesquit (CRD# 5210309)? Mesquit has been registered with Fidelity Brokerage Services LLC in Jacksonville, Florida since 2007. Mesquit has been the subject of two customer complaints between 2018 and … Continue reading
Erez Law is currently investigating Securities America, Inc. brokers across the country who recommended their clients invest in LJM Preservation & Growth Fund. In March 2021, FINRA sanctioned Securities America, Inc. to pay a $100,000 fine, as well as $235,979.77 … Continue reading
Did your J.W. Cole Financial, Inc. broker recommend you invest in LJM funds? If your J.W. Cole Financial, Inc. broker sold you the LJM Funds without disclosing the risks of the fund, Erez Law may be able to help you … Continue reading
In March 2021, FINRA sanctioned Cambridge Investment Research, Inc. and sanctioned the firm to pay a $400,000 fine, as well as $3,134,354.82 in restitution plus interest. FINRA also required the firm to issue a certification signed by an officer and … Continue reading
Erez Law is currently investigating Merrill Lynch broker Kenneth Pesavento (CRD# 360864) regarding mutual fund investment losses. Pesavento has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Oak Brook, Illinois since 1978. Pesavento has been the subject … Continue reading